Financial Advice Governance Strengthening Australia's Regulated Markets
At the centre of Australia's financial advice ecosystem lies a function that quietly shapes trust at scale. This opportunity connects specialist expertise to a globally operating advice network where governance, precision, and regulatory credibility define success. It's designed for professionals whose paraplanning foundation gives them the insight to influence outcomes internationally-without stepping away from home.
Job Description
Be part of our client's team as a Compliance Analyst - Australian Paraplanning, supporting Australian financial advice governance through SOA and ROA reviews, AFSL compliance alignment, risk identification, adviser guidance, remediation support, compliance reporting, register maintenance, and contribution to audit-ready frameworks using Iress/Xplan expertise.
Job Overview
Employment Type: Full-Time
Shift: Day Shift (Mon - Fri, 07:00 AM - 04:00 PM), Weekends Off
Work Setup: Hybrid, Makati or Cebu (1 month onsite training then hybrid thereafter)
Exciting Perks Await!
- Day 1 HMO coverage with free dependent
- Competitive salary package
- Hybrid work arrangement
- Day shift schedule
- Fixed weekends off
- Prime office locations in Makati and Cebu (Conveniently accessible by PUVs, with nearby restaurants and banks)
- Unlimited upskilling through Emapta Academy courses (Want to know more Visit https://emapta.com/training-calendar/)
- Free 24/7 access to our office gyms (Ortigas and Makati) with a free physical fitness trainer!
- Exclusive Emapta Lifestyle perks (hotel and restaurant discounts, and more!)
- Unlimited opportunities for employee referral incentives across the organization
- Standard government and Emapta benefits
- Total of 20 annual leaves to be used on your own discretion (including 5 credits convertible to cash)
- Fun engagement activities for employees
- Mentorship and exposure to global leaders and teams
- Career growth opportunities
- Diverse and supportive work environment
The Qualifications We Seek
- Minimum 3 years hands-on experience in paraplanning or financial adviser compliance within Australia
- Proven working knowledge of Australian Financial Services Licensee (AFSL) requirements, regulations, and compliance frameworks
- Demonstrated experience supporting advisers with Statements of Advice (SOAs), Records of Advice (ROAs), product research, and compliance documentation
- Proficiency in Iress/Xplan, including workflow management, documentation, and adviser support
- Strong understanding of Australian financial services products, legislation, and regulatory obligations
- Excellent written and verbal communication skills, with the ability to prepare clear, compliant documentation and liaise with advisers and stakeholders
- Strong time management, organization, and attention to detail, with the ability to manage deadlines and time-sensitive compliance tasks
- Ability to work independently with minimal supervision while collaborating effectively in a small, hybrid team environment
- Adaptable and responsive to changing compliance regulations, business needs, and adviser requirements
- Confident presentation and facilitation skills for training sessions, compliance briefings, or group discussions
- Relevant tertiary qualification in finance, business, or a related field (required)
- High level of professionalism, confidentiality, and discretion when handling sensitive financial and client information
- Strong integrity, ethical judgment, and commitment to compliance and risk management best practices
Your Daily Tasks
- Monitor adviser compliance and risk management activities.
- Support Compliance Officers with day-to-day tasks.
- Utilize compliance and risk management technology to track, manage, and report emerging trends across the adviser network.
- Conduct pre-vetting of financial advice documentation for advisers as required.
- Prepare and issue reports while providing feedback to advisers.
- Support and oversee adviser-agreed remediation processes.
- Identify, escalate, and implement remedies for compliance concerns to prevent breaches.
- Ensure advisers adhere to regulatory and company compliance requirements.
- Provide compliance-related advice to advisers and staff in collaboration with the Compliance team.
- Participate in Professional Standards Committee meetings as needed.
- Assist in onboarding and induction programs for new authorized representatives.
- Maintain compliance registers to ensure accurate documentation.
- Contribute to the development and maintenance of operational policies, procedures, and risk management tools for the AFSL framework.
- Facilitate training sessions and presentations on compliance and risk management.
- Compile and prepare adviser training materials and reports.
- Provide coaching to advisers on compliance matters.
- Participate in and contribute to relevant ad hoc projects as required.
A Trusted Name in Financial Services Compliance
Navigating the financial landscape requires precision, and our client ensures advisers stay on course. As a leading Australian Financial Services Licensee (AFSL), they provide the backbone of support-compliance oversight, risk management, technology solutions, and marketing expertise. With a sharp focus on regulatory excellence and business growth, they help financial professionals mitigate risks, streamline operations, and deliver top-tier advice while staying ahead in an evolving financial industry.
Welcome to Emapta Philippines!
Join a team that values camaraderie, excellence, and growth. Recognized as one of the Top 20 Dream Companies of Filipinos in 2024, Emapta stands proudly alongside industry giants, offering stability and exciting career opportunities. Work with global clients across industries in a culture focused on collaboration and innovation. We empower your success with opportunities for personal and professional development in an inclusive environment.
Apply now and be part of the #EmaptaEra!
